NATHANIEL HICKS, Plaintiff – Appellee, v. OFFICER GERALD L. FERREYRA, in his individual capacity; OFFICER BRIAN A. PHILLIPS, in his individual capacity, Defendants – Appellants.
No. 19-1697
UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT
July 14, 2020
PUBLISHED. Appeal from the United States District Court for the District of Maryland at Greenbelt. Paul W. Grimm, District Judge. (8:16-cv-02521-PWG). Submitted: May 18, 2020. Before MOTZ, KEENAN, and HARRIS, Circuit Judges.
Andrew C. White, Jodie E. Buchman, SILVERMAN, THOMPSON, SLUTKIN & WHITE, Baltimore, Maryland, for Appellants. Jia Cobb, Yiyang Wu, RELMAN, DANE & COLFAX PLLC, Washington, D.C., for Appellee.
This appeal arises from two traffic stops in which United States Park Police officers allegedly seized Nathaniel Hicks in violation of the Fourth Amendment. Hicks filed suit for damages against the federal officers, invoking the implied cause of action recognized in Bivens v. Six Unknown Named Agents of Federal Bureau of Narcotics, 403 U.S. 388 (1971). The officers moved for summary judgment on qualified immunity grounds. The district court denied their motion, finding that the factual record, viewed in the light most favorable to Hicks, precluded an award of qualified immunity on summary judgment.
On appeal, the officers argue – for the first time – that no Bivens remedy is available to Hicks, because applying Bivens here would constitute an improper extension of that case into a “new context.” See Ziglar v. Abbasi, 137 S. Ct. 1843, 1857 (2017). And according to the officers, the district court committed reversible error when it failed to take up that question sua sponte and dismiss Hicks‘s action under Abbasi. We disagree. Contrary to the officers’ suggestion, our well-established forfeiture rules govern here, and those rules do not allow the officers to raise before us a claim they never pressed in the district court.
The officers also argue that the district court erred in denying them summary judgment based on qualified immunity, pointing to instances in which they believe the district court misconstrued the record evidence. In this interlocutory posture, however, our jurisdiction is limited to issues of law, and does not permit us to review a district court‘s assessment of the factual record. We therefore dismiss this portion of the officers’ appeal.
I.
A.
Because this is an interlocutory appeal of a denial of qualified immunity, we recount the facts as the district court viewed them – that is, in the light most favorable to the plaintiff, Nathaniel Hicks, drawing all justifiable inferences in his favor. See Winfield v. Bass, 106 F.3d 525, 529–30 (4th Cir. 1997) (en banc).
In the early morning hours of July 11, 2015, Nathaniel Hicks – then an agent of the United States Secret Service – was parked on the shoulder of Interstate 295 North in Maryland, waiting to lead an oncoming motorcade in his government-assigned vehicle, which had a police antenna, strobing bar, and illuminated emergency lights. At approximately 6:00 a.m., Gerald Ferreyra – an officer with the United States Park Police (“USPP“) – parked his police cruiser behind Hicks‘s government vehicle and approached, initiating what would become the first of the two stops of Hicks, this one lasting for between 40 and 60 minutes.
As he approached, Ferreyra saw Hicks‘s service weapon – a handgun – inside Hicks‘s car, and drew his own weapon. Hicks quickly identified himself to Ferreyra as a Secret Service agent and displayed his credentials, including a photograph of himself and a description of his mission. Ferreyra seized Hicks‘s service weapon and credentials, and took them back to his police cruiser for verification. Ferreyra since has acknowledged that Hicks‘s credentials “looked legit,” and that he had no “reason to doubt” their validity. Hicks v. Ferreyra, 396 F. Supp. 3d 564, 578 (D. Md. 2019).
After the motorcade passed, the USPP supervisor arrived and informed Hicks that he was free to leave, and Ferreyra returned Hicks‘s weapon and credentials and allowed Hicks to leave the scene. By then, it was between 6:40 and 6:59 a.m., or 40 to 59 minutes after the stop was initiated at 6:00 a.m. And by no later than 6:25 a.m. – and perhaps much earlier – the USPP officers were fully aware that Hicks was an on-duty Secret Service agent authorized to carry a weapon, but they nevertheless continued the detention.
The second stop at issue occurred only minutes later, when Hicks, almost as soon as he had left the scene of his initial detention, was pulled over by Phillips. Hicks “was not driving erratically,” Hicks, 396 F. Supp. 3d at 580, and Phillips “knew it was Agent Hicks‘s vehicle he was stopping,” id. at 579. Phillips approached Hicks‘s vehicle and said: “I noticed when you departed the scene you were on the phone. It‘s against the law in the
B.
In July of 2016, Agent Hicks filed a Bivens action for damages against Officers Ferreyra and Phillips, alleging that the officers had violated his clearly established Fourth Amendment rights by unlawfully seizing him twice without probable cause or reasonable suspicion. The officers ultimately moved for summary judgment on Hicks‘s Fourth Amendment Bivens claim, alleging that they were entitled to qualified immunity. At no point did the officers question whether Hicks could avail himself of the implied cause of action for damages recognized by the Supreme Court in Bivens.
The district court denied the officers’ motion for summary judgment on Hicks‘s Fourth Amendment claims, finding that the officers had not demonstrated their entitlement to qualified immunity as a matter of law.1 The court began by outlining the law governing the qualified-immunity inquiry, which is the same under Bivens as in the
With respect to the first stop, the court started by clarifying the nature of Hicks‘s claim. Hicks did not challenge the initiation of the first stop, when Ferreyra observed Hicks‘s car and then his service weapon. Instead, Hicks invoked the well-settled doctrine that a seizure that is lawful at its inception may become constitutionally unreasonable if it lasts “longer than is necessary to effectuate” its purpose. Id. at 576 (quoting United States v. Sharpe, 470 U.S. 675, 684 (1985)). According to Hicks, his stop, which lasted for up to an hour, became constitutionally unreasonable once the officers had determined that he was an on-duty Secret Service agent authorized to carry his weapon, thus dispelling any reasonable suspicion and “effectuat[ing] the purpose of the stop.” Id. at 578 (quoting Sharpe, 470 U.S. at 685).
Viewing the record evidence in the light most favorable to Hicks, the district court determined that the officers had assuaged any concerns about Hicks and knew that he was
Hicks did challenge the initiation of his second stop, arguing that he was pulled over by Officer Phillips – mere moments after leaving the scene of his initial prolonged detention – without justification. Here, the district court identified multiple “genuine dispute[s]” of material fact: The parties disputed whether Phillips recognized Hicks‘s car before he pulled it over or, as Phillips conceded, recognized Hicks once he approached the
Phillips also cited Hicks‘s use of a cell phone as justification for the stop. But the district court went on to find that once Phillips recognized Hicks as the same Secret Service agent he had just detained – concededly no later than when Phillips approached Hicks in his car – he had no basis to suspect Hicks of violating Maryland‘s prohibition on the use of cell phones while driving, which clearly does not apply to on-duty law enforcement officers, or to continue to detain Hicks while demanding his license and registration. See id. at 580. Accordingly, Phillips could not show, as a matter of law, “a particularized, objective basis” to justify his stop of Hicks under the Fourth Amendment. Id. Nor, again, could Phillips show that the alleged Fourth Amendment violation was not “clearly established” for qualified immunity purposes. Id.
The officers timely appealed the district court‘s denial of summary judgment on qualified immunity grounds.
II.
A.
We review de novo a district court‘s denial of qualified immunity at summary judgment. See Cox v. Quinn, 828 F.3d 227, 235 (4th Cir. 2016). The standard we apply is
The scope of our review is further limited by the procedural posture of this appeal. As a general matter, denials of summary judgment are interlocutory orders not subject to appellate review. See Williams v. Strickland, 917 F.3d 763, 767 (4th Cir. 2019). There is an exception, however, for denials of summary judgment as to qualified immunity, which may be appealed immediately under the collateral order doctrine. See id. at 768. But such interlocutory appeals are limited to legal questions: Our jurisdiction extends only to the denial of qualified immunity “to the extent it turns on an issue of law.” Gould v. Davis, 165 F.3d 265, 268 (4th Cir. 1998) (emphasis added). “Whether we agree or disagree with the district court‘s assessment of the record evidence,” in other words, “is of no moment in the context of [an] interlocutory appeal.” Culosi v. Bullock, 596 F.3d 195, 201 (4th Cir. 2010); see also Hensley ex rel. North Carolina v. Price, 876 F.3d 573, 579 (4th Cir. 2017) (“In this procedural posture, we may not credit defendant[s‘] evidence, weigh the evidence, or resolve factual disputes in the defendants’ favor.“). Instead, our review of the district court‘s judgment is “limited to [one] narrow legal question: if we take the facts as the district court gives them to us, and we view those facts in the light most favorable to the
B.
Before turning to qualified immunity, we consider the officers’ late-breaking argument that Hicks‘s constitutional claim should have been dismissed at the outset because he lacks a cause of action under Bivens.2
In Bivens, the Supreme Court recognized an implied cause of action for certain damages suits against federal officials who violate constitutional rights – there, against federal law enforcement officers who allegedly violated the Fourth Amendment through a warrantless search and arrest and the unreasonable use of force. See Bivens v. Six Unknown Named Agents of Fed. Bureau of Narcotics, 403 U.S. 388, 395–96 (1971). In the decade following Bivens, the Court recognized that implied cause of action in two cases involving other constitutional violations. See Ziglar v. Abbasi, 137 S. Ct. 1843, 1854–55 (2017) (describing Davis v. Passman, 442 U.S. 228 (1979) and Carlson v. Green, 446 U.S. 14 (1980)). Since then, however, the Court has “disfavored” expansions of Bivens, and
Here, the officers argue that their case – notwithstanding its similarities to Bivens, which likewise involved a Fourth Amendment claim against federal law enforcement officers – presents a “new Bivens context,” and that allowing it to proceed runs afoul of Abbasi. Crucially, the officers raise this argument for the first time on appeal: At no point during the lengthy proceedings in the district court did the officers argue or even suggest that Hicks lacked a cause of action under Bivens. We thus conclude that this argument is forfeited on appeal.
It is well established that this court “do[es] not consider issues raised for the first time on appeal,” “[a]bsent exceptional circumstances.” Robinson v. Equifax Info. Servs., LLC, 560 F.3d 235, 242 (4th Cir. 2009) (internal quotations marks omitted). Rather, “[w]hen a party in a civil case fails to raise an argument in the lower court and instead raises it for the first time before us, we may reverse only if the newly raised argument establishes ‘fundamental error’ or a denial of fundamental justice.” In re Under Seal, 749 F.3d 276, 285 (4th Cir. 2014) (citation omitted). This rigorous standard is an even higher bar than the “plain error” standard applied in criminal cases, see Stewart v. Hall, 770 F.2d 1267, 1271 (4th Cir. 1985) (explaining that in a civil case such a “fundamental error” must be “so serious and flagrant that it goes to the very integrity” of the proceedings (internal quotations marks omitted)), and the burden is on the party who has failed to preserve an argument to show that the standard is met, see Under Seal, 749 F.3d at 292.
We disagree. As a general rule, “the parties’ litigation conduct” determines what issues are properly before a court, and a defense may be “forfeited if the party asserting [it] waits too long to raise the point.” Kontrick v. Ryan, 540 U.S. 443, 456 (2004). There is an exception for rules governing subject-matter jurisdiction, which may be raised by a party at any time or by a court on its own initiative. See id. (distinguishing between subject-matter jurisdiction, which may not be forfeited, and inflexible claims-processing rules, which may); see also Gonzalez v. Thaler, 565 U.S. 134, 141 (2012) (“Subject-matter jurisdiction can never be waived or forfeited.“). But the availability of a Bivens cause of action does not fall within that exception, because it is not an issue that implicates a court‘s subject-matter jurisdiction. See Air Courier Conference of Am. v. Am. Postal Workers Union, 498 U.S. 517, 523 n.3 (1991) (“Whether a cause of action exists is not a question of jurisdiction . . . .“). Nor have the officers pointed to any other source of authority for treating the availability of a Bivens remedy as within the limited category of non-waivable legal issues.3
That leaves us with our standard forfeiture and waiver principles, under which we will consider an issue not raised before the district court only in “exceptional circumstances” and reverse only if the proponent of the newly discovered argument can establish “fundamental error.” Under Seal, 749 F.3d at 285 (internal quotation marks omitted). But the officers here have provided no explanation at all for why they did not raise their Bivens-extension argument in the district court; the case on which they chiefly rely, Ziglar v. Abassi, was decided over a year before they submitted their summary judgment briefs to the district court, and itself merely “clarified” what already was well-established case law, Tun-Cos, 922 F.3d at 522. Nor have the officers contended at all with our “fundamental error” standard or attempted to show that they can meet it here. For that reason alone, the officers have failed to satisfy their burden of establishing the kind of “fundamental error” that might warrant reversal on a ground not raised before the district court. See Under Seal, 749 F.3d at 292 (holding that failure to argue on appeal for fundamental error “marks the end of the road for [an] argument for reversal not first presented to the district court” (internal quotation marks omitted)).
Nor are we concerned that holding the officers to the normal consequences of this second forfeiture might risk a “denial of fundamental justice.” Id. at 285. The crux of the
C.
We turn now to the officers’ challenge to the district court‘s rulings on qualified immunity. We conclude that we lack jurisdiction to consider this portion of the officers’ appeal, because the officers contest only the district court‘s assessment of the factual record and raise no reviewable questions of law. See Davis, 165 F.3d at 268 (limiting interlocutory review of denials of qualified immunity to issues of law).
We emphasize at the outset what the officers are not challenging on appeal. They do not argue that “if we take the facts as the district court [gave] them to us,” Strickland, 917 F.3d at 768, then the district court erred as a legal matter when it found that the alleged conduct violated the Fourth Amendment, because the officers unreasonably extended Hicks‘s first stop and conducted an immediate second stop without sufficient justification. Nor do the officers take issue with the second step of the district court‘s qualified immunity analysis, arguing that any Fourth Amendment violation they may have committed was not “clearly established” at the time of the incident.
Instead, the officers seek review of a question that we may not consider in this interlocutory posture: whether the district court properly assessed the factual record in front of it. See Culosi, 596 F.3d at 201 (“Whether we agree or disagree with the district court‘s assessment of the record evidence on that issue, however, is of no moment in the context of this interlocutory appeal.“). With respect to the first stop, the officers’ argument centers exclusively on the district court‘s finding that the lack of record support for a purported “customary protocol” supporting Hicks‘s lengthy detention precluded the award of summary judgment. According to the officers, the district court misconstrued the record
The same is true of the second stop, as to which the officers again raise exclusively fact-based arguments. Here, the officers’ focus is on the district court‘s determination that the factual record – read in the light most favorable to Hicks, and resolving all material factual disputes in his favor – showed that Officer Phillips left the scene of the first stop just after Hicks and recognized Hicks‘s car before he pulled it over, and that Hicks was not driving erratically at the time. See Hicks, 396 F. Supp. 3d at 579–80. According to the officers, the district court again erred in its assessment of the record, this time by disregarding Phillips‘s own deposition testimony to the contrary. Competing deposition testimony, of course, is precisely what gives rise to the kind of genuine dispute of fact identified by the district court. But again, whatever the merits of the officers’ argument, it is not one we may consider here, where our jurisdiction is limited to legal questions. See Iko v. Shreve, 535 F.3d 225, 234 (4th Cir. 2008) (“[W]e lack jurisdiction to re-weigh the evidence in the record to determine whether material factual disputes preclude summary disposition.“).
Accordingly, we dismiss the officers’ appeal of the district court‘s qualified immunity holding for lack of jurisdiction.
III.
For the foregoing reasons, we dismiss this appeal in part and otherwise affirm the district court‘s order denying summary judgment.
AFFIRMED IN PART AND DISMISSED IN PART
